Case 17-2992, Document 1413, 04/08/2019, …...Case 17-2992, Document 1413, 04/08/2019, 2534828, Page1 of 63 Addendum A Number Case Number Moving Parties Moving Attorneys 1. 17-2992

Form T-1080 (rev.12-13)

UNITED STATES COURT OF APPEALS FOR THE SECOND CIRCUIT

Thurgood Marshall U.S. Courthouse 40 Foley Square, New York, NY 10007 Telephone: 212-857-8500

MOTION INFORMATION STATEMENT

Docket Number(s): ________________________________________ _______________Caption [use short title]_____________________

Motion for: ______________________________________________

________________________________________________________

________________________________________________________

Set forth below precise, complete statement of relief sought:

________________________________________________________

________________________________________________________

________________________________________________________

________________________________________________________

________________________________________________________

________________________________________________________

MOVING PARTY:_______________________________________ OPPOSING PARTY:____________________________________________

___Plaintiff ___Defendant

___Appellant/Petitioner ___Appellee/Respondent

MOVING ATTORNEY:___________________________________ OPPOSING ATTORNEY:________________________________________

________________________________________________________ _______________________________________________________________

________________________________________________________ _______________________________________________________________

________________________________________________________ _______________________________________________________________

Court- Judge/ Agency appealed from: _________________________________________________________________________________________

Please check appropriate boxes: FOR EMERGENCY MOTIONS, MOTIONS FOR STAYS AND INJUCTIONS PENDING APPEAL:

Is oral argument on motion requested? ___Yes ___No (requests for oral argument will not necessarily be granted)

Has argument date of appeal been set? ___ Yes ___No If yes, enter date:_______________________________________________________

Signature of Moving Attorney:

_________________________________ Date:__________________ Service by: ___CM/ECF ___Other [Attach proof of service]

[name of attorney, with firm, address, phone number and e-mail]

Has this request for relief been made below? ___Yes ___No Has this relief been previously sought in this court? ___Yes ___No Requested return date and explanation of emergency: ________________ _____________________________________________________________ _____________________________________________________________ _____________________________________________________________ _____________________________________________________________

Has movant notified opposing counsel (required by Local Rule 27.1):___Yes ___No (explain):__________________________ _______________________________________________

Opposing counsel’s position on motion:___Unopposed ___Opposed ___Don’t Know

Does opposing counsel intend to file a response: ___Yes ___No ___Don’t Know

Case 17-2992, Document 1413, 04/08/2019, 2534828, Page1 of 63

Addendum A

Number Case Number

Moving Parties Moving Attorneys

1. 17-2992 Banque Lombard Odier & Cie SA, FKA Lombard Odier Darier Hentsch & Cie

John F. Zulack, Esq., Allegaert Berger & Vogel LLP 111 Broadway, 20th Floor New York, New York 10006

2. 17-2995 Union Securities Investment Trust Co., Ltd.

Blanka K. Wolfe, Esq., Direct: 212-653-8700 Sheppard, Mullin, Richter & Hampton LLP 30 Rockefeller Plaza New York, NY 10112

3. 17-2995 Union USD Global Arbitrage Fund

Blanka K. Wolfe, Esq.

4. 17-2995 Union USD Global Arbitrage A Fund

Blanka K. Wolfe, Esq.

5. 17-2995 Union Arbitrage Strategy Fund Blanka K. Wolfe, Esq.

6. 17-2996 Banque Cantonale Vaudoise John F. Zulack, Esq., Allegaert Berger & Vogel LLP 111 Broadway, 20th Floor New York, New York 10006

7. 17-2999 Grosvenor Investment Management Ltd.

Russell T. Gorkin, Esq., Proskauer Rose LLP 11 Times Square New York, NY 10036 Gregg M. Mashberg, Esq., Partner Proskauer Rose LLP 11 Times Square New York, NY 10036

8. 17-2999 Grosvenor Aggressive Growth Fund Limited

Russell T. Gorkin, Esq. Gregg M. Mashberg, Esq., Partner

9. 17-2999 Grosvenor Balanced Growth Fund Limited


10. 17-2999 Grosvenor Private Reserve Fund Limited


11. 17-3003 BSI AG, individually and as successor in interest to Banco Del Gottardo

David Farrington Yates, Esq., Direct: 212-488-1200 Kobre & Kim LLP


Addendum A 2

6th Floor 800 3rd Avenue New York, NY 10022 George W. Shuster, Jr., Esq., Direct: 212-937-7232 Wilmer Cutler Pickering Hale and Dorr LLP 7 World Trade Center 250 Greenwich Street New York, NY 10007

12. 17-3004 First Gulf Bank George M. Chalos, Direct: 516-721-4076 Chalos & Co., P.C. 55 Hamilton Avenue Oyster Bay, NY 11771 Briton Paul Sparkman, Attorney Direct: 713-574-9454 Chalos & Co., P.C. 7210 Tickner Street Houston, TX 77055

13. 17-3005 Parson Finance Panama S.A. Eugene F. Getty, Esq., Direct: 212-889-2821 Kellner Herlihy Getty & Friedman LLP 470 Park Avenue South, 7N New York, NY 10016

14. 17-3006 Delta National Bank and Trust Company

Lawrence Joel Kotler, Esq., Direct: 215-979-1514 Duane Morris LLP 1540 Broadway New York, NY 10036

15. 17-3007 Unifortune Asset Management SGR SPA

Richard B. Levin, Esq., Jenner & Block LLP 919 3rd Avenue New York, NY 10022 Carl Nicholas Wedoff, Esq., Direct: 212-891-1653 Jenner & Block LLP 919 3rd Avenue New York, NY 10022

16. 17-3007 Unifortune Conservative Fund Richard B. Levin, Esq. Carl Nicholas Wedoff, Esq.

17. 17-3008 National Bank of Kuwait SAK Richard A. Cirillo, Esq.,


Addendum A 3

King & Spalding LLP 1185 Avenue of the Americas New York, NY 10036

18. 17-3009 Natixis S.A. (in its own capacity and as successor-in-interest to IXIS Corporate & Investment Bank)

Bruce M. Ginsberg, Esq., Direct: 212-468-4820 Davis & Gilbert LLP 1740 Broadway New York, NY 10019 James R. Serritella, Esq., Direct: 212-468-4945 Davis & Gilbert LLP 1740 Broadway New York, NY 10019

19. 17-3009 Natixis Financial Products LLC (as successor-in-interest to Natixis Financial Products Inc.)

Bruce M. Ginsberg, Esq. James R. Serritella, Esq.

20. 17-3009 Bloom Asset Holdings Fund Bruce M. Ginsberg, Esq. James R. Serritella, Esq.

21. 17-3009 Tensyr Limited Timothy P. Harkness, Esq., Direct: 212-277-4000 Freshfields Bruckhaus Deringer US LLP 31st Floor 601 Lexington Avenue New York, NY 10022 David Y. Livshiz, Esq., Direct: 212-277-4000 Freshfields Bruckhaus Deringer US LLP 31st Floor 601 Lexington Avenue New York, NY 10022

22. 17-3010 Cathay Life Insurance Co. LTD. Scott D. Lawrence, Esq., Direct: 214-720-4300 Akerman LLP Suite 3600 2001 Ross Avenue Dallas, TX 75201 David W. Parham, Esq., Direct: 214-720-4345 Akerman LLP Suite 3600 2001 Ross Avenue


Addendum A 4

Dallas, TX 75201

23. 17-3011 Barclays Bank (Suisse) S.A. Marc J. Gottridge, Esq., - Direct: 212-909-0643 [COR NTC Retained] Hogan Lovells US LLP 875 3rd Avenue New York, NY 10022 Andrew M. Harris, Esq. Direct: 212-918-5712 Hogan Lovells US LLP 875 Third Avenue New York, NY 10022

24. 17-3011 Barclays Bank S.A. Marc J. Gottridge, Esq. Andrew M. Harris, Esq.

25. 17-3011 Barclays Private Bank & Trust Limited

Marc J. Gottridge, Esq. Andrew M. Harris, Esq.

26. 17-3012 Arden Asset Management LLC M. William Munno, Esq., Attorney Direct: 212-574-1200 Seward & Kissel LLP 1 Battery Park Plaza New York, NY 10004 Michael Benjamin Weitman, Esq., Direct: 212-574-1486 Seward & Kissel LLP 1 Battery Park Plaza New York, NY 10004

27. 17-3012 Arden Asset Management Inc. M. William Munno, Esq. Michael Benjamin Weitman, Esq.

28. 17-3012 Arden Endowment Advisers, Ltd. M. William Munno, Esq. Michael Benjamin Weitman, Esq.

29. 17-3013 Royal Bank of Canada Mark Thomas Ciani, Esq., Direct: 212-940-8800 Katten Muchin Rosenman LLP 575 Madison Avenue New York, NY 10022 Anthony L. Paccione, Esq., Katten Muchin Rosenman LLP


Addendum A 5

575 Madison Avenue New York, NY 10022

30. 17-3013 Guernroy Limited Mark Thomas Ciani, Esq. Anthony L. Paccione, Esq.

31. 17-3013 Royal Bank of Canada (Channel Islands) Limited

Mark Thomas Ciani, Esq. Anthony L. Paccione, Esq.

32. 17-3013 Royal Bank of Canada Singapore Branch


33. 17-3013 Royal Bank of Canada (Suisse) S.A.


34. 17-3013 RBC Dominion Securities Inc. Mark Thomas Ciani, Esq. Anthony L. Paccione, Esq.

35. 17-3013 Royal Bank of Canada Trust Company (Jersey) Limited


36. 17-3014 SNS Bank N.V. Charles C. Platt, Direct: 212-230-8860 Wilmer Cutler Pickering Hale and Dorr LLP 7 World Trade Center 250 Greenwich Street New York, NY 10007 Andrea J. Robinson, Esq., Direct: 617-526-6360 Wilmer Cutler Pickering Hale and Dorr LLP 60 State Street Boston, MA 02109 George W. Shuster, Jr., Esq., Direct: 212-937-7232 Wilmer Cutler Pickering Hale and Dorr LLP 7 World Trade Center 250 Greenwich Street New York, NY 10007

37. 17-3014 SNS Global Custody B.V. Charles C. Platt Andrea J. Robinson, Esq.


Addendum A 6

George W. Shuster, Jr., Esq.

38. 17-3016 Koch Industries, Inc., as successor in interest to Koch Investment (UK) Company

Jonathan P. Guy, Esq., Direct: 202-339-8516 Orrick, Herrington & Sutcliffe LLP 1152 15th Street, NW Washington, DC 20005

39. 17-3018 Kookmin Bank Richard A. Cirillo, Esq., King & Spalding LLP 1185 Avenue of the Americas New York, NY 10036

40. 17-3019 Bank Julius Baer & Co., Ltd. Eric Brian Halper, Esq., Direct: 212-402-9413 McKool Smith, PC 47th Floor 1 Bryant Park New York, NY 10036 Virginia Weber, Esq., Direct: 212-402-9417 McKool Smith, PC 47th Floor 1 Bryant Park New York, NY 10036

41. 17-3020 Six Sis AG Andreas A. Frischknecht, Esq. Direct: 212-257-6960 Chaffetz Lindsey LLP 33rd Floor 1700 Broadway New York, NY 10019 Erin Valentine, Esq., Direct: 212-257-6960 Chaffetz Lindsey LLP 33rd Floor 1700 Broadway New York, NY 10019

42. 17-3021 Trincastar Corporation Richard B. Levin, Esq., Jenner & Block LLP 919 3rd Avenue New York, NY 10022 Carl Nicholas Wedoff, Esq., Direct: 212-891-1653 Jenner & Block LLP 919 3rd Avenue New York, NY 10022


Addendum A 7

43. 17-3023 Schroder & Co. Bank AG Martin. J Crisp Direct: 212-596-9000 Ropes & Gray LLP 1211 Avenue of the Americas New York, NY 10036

44. 17-3024 Bureau of Labor Insurance Jennifer Fiorica Delgado Direct: 646-414-6962 Lowenstein Sandler LLP 18th Floor 1251 Avenue of the Americas New York, NY 10020 Zachary Rosenbaum, Direct: 212-204-8690 Lowenstein Sandler LLP 1251 Avenue of the Americas New York, NY 10020

45. 17-3025 Caceis Bank, Luxembourg Branch Daniel Schimmel, Esq., Direct: 646-927-5500 Foley Hoag LLP 1301 Avenue of the Americas, 25th Floor New York, NY 10019

46. 17-3025 Caceis Bank Daniel Schimmel, Esq.

47. 17-3026 CA Indosuez (Switzerland) S.A., f/k/a Credit Agricole (Suisse) S.A.

Lawrence B. Friedman, Cleary Gottlieb Steen & Hamilton LLP 1 Liberty Plaza New York, NY 10006 Elizabeth Vicens, Cleary Gottlieb Steen & Hamilton LLP 1 Liberty Plaza New York, NY 10006

48. 17-3026 Credit Agricole S.A., AKA Banque Du Credit Agricole

Lawrence B. Friedman Elizabeth Vicens

49. 17-3029 Solon Capital, Ltd., c/o Appleby Corporate Services (Bermuda) Canons Court 22 Victoria Street Hamilton HM 12 Bermuda

William J. Sushon, Esq., O'Melveny & Myers LLP Times Square Tower 7 Times Square New York, NY 10036

50. 17-3032 Quilvest Finance Ltd. Thomas E. Lynch, Attorney Direct: 212-326-3939 Jones Day 250 Vesey Street


Addendum A 8

New York, NY 10281

51. 17-3033 Lloyds TSB Bank PLC Mark Thomas Ciani, Esq., Direct: 212-940-8800 Katten Muchin Rosenman LLP 575 Madison Avenue New York, NY 10022 Anthony L. Paccione, Esq., Katten Muchin Rosenman LLP 575 Madison Avenue New York, NY 10022

52. 17-3034 Atlantic Security Bank Anthony D. Boccanfuso, Arnold & Porter Kaye Scholer LLP 250 West 55th Street New York, NY 10019 Scott Schreiber, Esq., Direct: 202-942-5672 Arnold & Porter Kaye Scholer LLP 601 Massachusetts Avenue, NW Washington, DC 20001

53. 17-3035 Orbita Capital Return Strategy Limited

Gary J. Mennitt, Esq., Direct: 212-698-3831 Dechert LLP 27th Floor Mailroom 1095 Avenue of the Americas New York, NY 10036

54. 17-3038 The Sumitomo Trust & Banking Co., Ltd.

Michael Zeb Landsman, Esq., Direct: 212-888-3033 Becker, Glynn, Muffly, Chassin & Hosinski LLP 16th Floor 299 Park Avenue New York, NY 10171 Jordan E. Stern, Esq., Direct: 212-888-3033 Becker, Glynn, Muffly, Chassin & Hosinski LLP 16th Floor 299 Park Avenue New York, NY 10171

55. 17-3039 Zephyros Limited William J. Sushon, Esq., O'Melveny & Myers LLP Times Square Tower 7 Times Square


Addendum A 9

New York, NY 10036

56. 17-3040 Merrill Lynch Bank (Suisse) SA Pamela A. Miller, Esq., Direct: 212-326-2088 O'Melveny & Myers LLP Times Square Tower 7 Times Square New York, NY 10036

57. 17-3041 Northern Trust Corporation, 50 LaSalle Street Chicago, IL 60603

Mark Thomas Ciani, Esq., Direct: 212-940-8800 Katten Muchin Rosenman LLP 575 Madison Avenue New York, NY 10022 Anthony L. Paccione, Esq., Katten Muchin Rosenman LLP 575 Madison Avenue New York, NY 10022

58. 17-3041 Barfield Nominees Limited, Trafalgar Court Les Baques St. Peters Port Guernsey United Kingdom


59. 17-3042 Credit Agricole Corporate and Investment Bank, 1301 Avenue of the Americas New York, NY 10019, DBA Credit Agricole Private Banking Miami, FKA Calyon S.A., DBA Credit Agricole Miami Private Bank, Successor in Interest to Credit Lyonnais S.A.

Lawrence B. Friedman, Cleary Gottlieb Steen & Hamilton LLP 1 Liberty Plaza New York, NY 10006 Elizabeth Vicens, Cleary Gottlieb Steen & Hamilton LLP 1 Liberty Plaza New York, NY 10006

60. 17-3043 Korea Exchange Bank, Individually And As Trustee For Korea Global All Asset Trust I-1, And For Tams Rainbow Trust III

Richard A. Cirillo, Esq., King & Spalding LLP 1185 Avenue of the Americas New York, NY 10036

61. 17-3043 Korea Investment Trust Management Company

John D. Giampolo, Esq., Direct: 212-382-3300 Wollmuth Maher & Deutsch LLP 500 5th Avenue New York, NY 10110

62. 17-3044 Nomura International plc Brian H. Polovoy, Esq., Shearman & Sterling LLP 599 Lexington Avenue New York, NY 10022 Randall L. Martin, Esq.,


Addendum A 10

Shearman & Sterling LLP 599 Lexington Avenue New York, NY 10022

63. 17-3047 Societe Generale Private Banking (Suisse) S.A., FKA SG Private Banking Suisse S.A.

John F. Zulack, Esq., Flemming Zulack Williamson Zauderer LLP 1 Liberty Plaza New York, NY 10006

64. 17-3047 Societe Generale Private Banking (Lugano-Svizzera) S.A., FKA SG Private Banking (Lugano-Svizzera) S.A.

John F. Zulack, Esq.

65. 17-3047 Socgen Nominees (UK) Limited John F. Zulack, Esq.

66. 17-3047 Lyxor Asset Management S.A., as Successor in Interest to Barep Asset Management S.A.


67. 17-3047 Societe Generale Holding De Participations S.A., as Successor in Interest to Barep Asset Management S.A


68. 17-3047 SG AM AI Premium Fund L.P., FKA SG AM Alternative Diversified U.S. L.P.


69. 17-3047 Lyxor Asset Management Inc., as General Partner of SG AM AI Premium Fund L.P., FKA SGAM Asset Management, Inc.


70. 17-3047 SG Audace Alternatif, FKA SGAM AI Audace Alternatif


71. 17-3047 SGAM AI Equilibrium Fund, FKA SGAM Alternative Multi Manager Diversified Fund


72. 17-3047 Lyxor Premium Fund, FKA SGAM Alternative Diversified Premium Fund


73. 17-3047 Societe Generale, S.A., as Trustee for Lyxor Premium Fund


74. 17-3047 Societe Generale Bank & Trust S.A.


75. 17-3047 OFI MGA Alpha Palmares, FKA Oval Alpha Palmares

Brian J. Butler, Esq., Direct: 315-218-8000 Bond, Schoeneck & King, PLLC 1 Lincoln Center 110 West Fayette Street Syracuse, NY 13202

76. 17-3047 Oval Palmares Europlus Brian J. Butler, Esq.


Addendum A 11

77. 17-3047 UMR Select Alternatif Brian J. Butler, Esq.

78. 17-3047 Bank Audi S.A.M.-Audi Saradar Group, FKA Dresdner Bank Monaco S.A.M.

Gary J. Mennitt, Esq., Direct: 212-698-3831 Dechert LLP 27th Floor Mailroom 1095 Avenue of the Americas New York, NY 10036

79. 17-3050 Intesa Sanpaolo S.p.A., as Successor in Interest to Banca Intesa SpA 1 William Street New York, NY 10004

Andrew Ditchfield, Direct: 212-450-3009 Davis Polk & Wardwell LLP 450 Lexington Avenue New York, NY 10017 Elliot Moskowitz, Esq., Direct: 212-450-4241 Davis Polk & Wardwell LLP 450 Lexington Avenue New York, NY 10017

80. 17-3050 Eurizon Capital SGR S.p.A., Eurizon Capital SGR SpA (as Successor in Interest to Eurizon Investimenti SGR SpA, f/k/a Nextra Investment Management SGR SpA, and Eurizon Alternative Investments SGR Spa, f/k/a Nextra Alternative Inv Piazzatte Giordano Dell'Amore 3 20121 Milan Italy

Andrew Ditchfield Elliot Moskowitz, Esq.

81. 17-3050 Eurizon Low Volatility, Piazzetta Giordano Dell'Amore 3 c/o Eurizon Capital SGR SpA 20121 Milan Italy, FKA Nextra Low Volatility


82. 17-3050 Eurizon Low Volatility II, Piazzetta Giordano Dell'Amore 3 c/o Eurizon Capital SGR SpA 20121 Milan Italy, FKA Nextra Low Volatility II


83. 17-3050 Eurizon Low Volatility PB, Piazzetta Giordano Dell'Amore 3 c/o Eurizon Capital SGR SpA 20121 Milan Italy, FKA Nextra Low Volatility PB


84. 17-3050 Eurizon Medium Volatility, Piazzetta Giordano Dell'Amore 3 c/o Eurizon Capital SGR SpA 20121 Milan Italy, FKA Nextra Medium Volatility



Addendum A 12

85. 17-3050 Eurizon Medium Volatility II, Piazzetta Giordano Dell'Amore 3 c/o Eurizon Capital SGR SpA 20121 Milan Italy, FKA Nextra Medium Volatility II


86. 17-3050 Eurizon Total Return, Piazzetta Giordano Dell'Amore 3 c/o Eurizon Capital SGR SpA 20121 Milan Italy, FKA Nextra Total Return


87. 17-3054 Banco Itau Europa Luxembourg, S.A.

Brian H. Polovoy, Esq., Shearman & Sterling LLP 599 Lexington Avenue New York, NY 10022 Randall L. Martin, Esq., Shearman & Sterling LLP 599 Lexington Avenue New York, NY 10022

88. 17-3054 Banco Itau Europa International Brian H. Polovoy, Esq. Randall L. Martin, Esq.

89. 17-3057 UBS AG Gabriel Herrmann, Esq., Gibson, Dunn & Crutcher LLP 200 Park Avenue New York, NY 10166 Marshall R. King, Esq., Attorney Gibson, Dunn & Crutcher LLP 200 Park Avenue New York, NY 10166

90. 17-3057 UBS (Luxembourg) SA Gabriel Herrmann, Esq., Gibson, Dunn & Crutcher LLP 200 Park Avenue New York, NY 10166 Marshall R. King, Esq., Attorney Gibson, Dunn & Crutcher LLP 200 Park Avenue New York, NY 10166

91. 17-3057 UBS Fund Services (Luxembourg) S.A.

Gabriel Herrmann, Esq. Marshall R. King, Esq., Attorney

92. 17-3057 UBS Third Party Management Company S.A.



Addendum A 13

93. 17-3057 Access International Advisors Ltd. Brian Lee Muldrew, Esq., Direct: 212-940-6581 Katten Muchin Rosenman LLP Suite 1422 575 Madison Avenue New York, NY 10022 Anthony L. Paccione, Esq., Katten Muchin Rosenman LLP 575 Madison Avenue New York, NY 10022

94. 17-3057 Access Management Luxembourg SA, FKA Access International Advisors Luxembourg SA, as represented by its Liquidator Maitre Ferdinand Entringer

Brian Lee Muldrew, Esq. Anthony L. Paccione, Esq.

95. 17-3057 Access Partners SA, as represented by its Liqudator Maitre Ferdinand Entringer

Brian Lee Muldrew, Esq. Anthony L. Paccione, Esq.

96. 17-3057 Patrick Littaye Anthony L. Paccione, Esq. Brian Lee Muldrew, Esq.

97. 17-3057 Pierre Delandmeter Scott Berman, Direct: 212-833-1100 Friedman Kaplan Seiler & Adelman LLP 7 Times Square New York, NY 10036

98. 17-3058 Banque Internationale a Luxembourg S.A., individually and as successor in interest to Dexia Nordic Private Bank S.A., FKA Dexia Banque Internationale a Luxembourg S.A.

Jeff Edward Butler, Esq., Clifford Chance US LLP 31 West 52nd Street New York, NY 10019

99. 17-3058 RBC Dexia Investor Services Bank S.A.

Mark Thomas Ciani, Esq., Direct: 212-940-8800 Katten Muchin Rosenman LLP 575 Madison Avenue New York, NY 10022 Anthony L. Paccione, Esq., Katten Muchin Rosenman LLP 575 Madison Avenue New York, NY 10022

100. 17-3058 RBC Dexia Investor Services Espana S.A.

Mark Thomas Ciani, Esq.


Addendum A 14

Anthony L. Paccione, Esq.

101. 17-3058 Banque Internationale a Luxembourg (Suisse) S.A., FKA Dexia Private Bank (Switzerland) Ltd.

Jeff Edward Butler, Esq.

102. 17-3059 Abu Dhabi Investment Authority Marc Greenwald, Direct: 212-849-7140 Quinn Emanuel Urquhart & Sullivan, LLP 22nd Floor 51 Madison Avenue New York, NY 10010 Eric Mark Kay, Esq., Direct: 212-849-7273 Quinn Emanuel Urquhart & Sullivan, LLP 22nd Floor 51 Madison Avenue New York, NY 10010

103. 17-3060 Dakota Global Investments, Ltd. Jeff Edward Butler, Esq., Clifford Chance US LLP 31 West 52nd Street New York, NY 10019

104. 17-3062 HSBC Bank plc Thomas J. Moloney, Cleary Gottlieb Steen & Hamilton LLP 1 Liberty Plaza New York, NY 10006

105. 17-3062 HSBC Securities Services (Luxembourg) SA

Thomas J. Moloney

106. 17-3062 HSBC Bank Bermuda Limited Thomas J. Moloney

107. 17-3062 HSBC Fund Services (Luxembourg) S.A.

Thomas J. Moloney

108. 17-3062 HSBC Private Bank (Suisse) S.A. Thomas J. Moloney

109. 17-3062 HSBC Private Banking Holdings (Suisse) SA

Thomas J. Moloney

110. 17-3062 HSBC Cayman Services Limited (sued as HSBC Bank (Cayman) Limited)

Thomas J. Moloney

111. 17-3062 HSBC Securities Services (Bermuda) Limited

Thomas J. Moloney

112. 17-3062 HSBC Bank USA, N.A. Thomas J. Moloney

113. 17-3062 HSBC Institutional Trust Services (Bermuda) Limited

Thomas J. Moloney

114. 17-3062 HSBC Securities Services (Ireland) Limited

Thomas J. Moloney


Addendum A 15

115. 17-3062 HSBC Institutional Trust Services (Ireland) Limited

Thomas J. Moloney

116. 17-3062 HSBC Holdings PLC Thomas J. Moloney

117. 17-3062 BA Worldwide Fund Management Limited

Franklin B. Velie, Esq., Direct: 212-484-9866 Pierce Bainbridge Beck Price & Hecht LLP 277 Park Ave, 45th Floor New York, NY 10172 Jonathan G. Kortmansky, Esq., Direct: 212-484-9866 Pierce Bainbridge Beck Price & Hecht LLP 277 Park Ave, 45th Floor New York, NY 10172

118. 17-3064 SICO Limited Thomas J. Moloney, Cleary Gottlieb Steen & Hamilton LLP 1 Liberty Plaza New York, NY 10006

119. 17-3065 ABN AMRO Fund Services (Isle of Man) Nominees Limited, FKA Fortis (Isle of Man) Nominees Limited

Christopher R. Harris, Esq. Latham & Watkins LLP 885 3rd Avenue New York, NY 10022 Thomas Giblin, Esq., Direct: 212-906-1200 Latham & Watkins LLP 885 3rd Avenue New York, NY 10022

120. 17-3065 Platinum All Weather Fund Limited

Anthony D. Boccanfuso, Arnold & Porter Kaye Scholer LLP 250 West 55th Street New York, NY 10019 Scott Schreiber, Esq., Direct: 202-942-5672 Arnold & Porter Kaye Scholer LLP 601 Massachusetts Avenue, NW Washington, DC 20001

121. 17-3065 Odyssey Ralph A. Siciliano, Esq., Direct: 212-508-6718 Tannenbaum Helpern Syracuse & Hirschtritt LLP 900 3rd Avenue New York, NY 10022

122. 17-3066 Fairfield Investment Fund Limited William A. Maher, Esq.


Addendum A 16

Wollmuth Maher & Deutsch LLP 500 5th Avenue New York, NY 10110 Fletcher W. Strong, Esq. Wollmuth Maher & Deutsch LLP 500 5th Avenue New York, NY 10110

123. 17-3066 Fairfield Greenwich Limited Peter E. Kazanoff, Esq., Direct: 212-455-3525 Simpson Thacher & Bartlett LLP 425 Lexington Avenue New York, NY 10017

124. 17-3066 Fairfield Greenwich (Bermuda) Limited

Peter E. Kazanoff, Esq.

125. 17-3066 Fairfield Greenwich Advisors LLC Peter E. Kazanoff, Esq.

126. 17-3066 Fairfield International Managers, Inc.


127. 17-3066 Walter Noel Andrew Hammond, Direct: 212-819-8297 White & Case LLP 1221 Avenue of the Americas New York, NY 10020

128. 17-3066 Jeffrey Tucker Daniel Jeffrey Fetterman, Esq., Direct: 212-506-1700 Kasowitz Benson Torres LLP 1633 Broadway New York, NY 10019 David Mark, Attorney Direct: 212-506-1700 Kasowitz Benson Torres LLP 1633 Broadway New York, NY 10019

129. 17-3066 Andres Piedrahita Andrew Joshua Levander, Esq., Direct: 212-698-3683 Dechert LLP 1095 Avenue of the Americas New York, NY 10036 Neil A. Steiner, Esq., Direct: 212-698-3671 Dechert LLP 27th Floor Mailroom 1095 Avenue of the Americas


Addendum A 17

New York, NY 10036

130. 17-3066 Mark McKeefry Peter E. Kazanoff, Esq.

131. 17-3066 Daniel Lipton Peter E. Kazanoff, Esq.

132. 17-3066 Amit Vijayvergiya Peter E. Kazanoff, Esq.

133. 17-3066 Gordon McKenzie Peter E. Kazanoff, Esq.

134. 17-3066 Richard Landsberger Peter E. Kazanoff, Esq.

135. 17-3066 Philip Toub Peter E. Kazanoff, Esq.

136. 17-3066 Andrew Smith Peter E. Kazanoff, Esq.

137. 17-3066 Harold Greisman Peter E. Kazanoff, Esq.

138. 17-3066 Gregory Bowes Bruce Allen Baird, Esq., Direct: 202-662-5122 Covington & Burling LLP 1 CityCenter 850 10th Street, NW Washington, DC 20001

139. 17-3066 Corina Noel Piedrahita Peter E. Kazanoff, Esq.

140. 17-3066 Lourdes Barreneche Peter E. Kazanoff, Esq.

141. 17-3066 Cornelis Boele Peter E. Kazanoff, Esq.

142. 17-3066 Santiago Reyes Peter E. Kazanoff, Esq.

143. 17-3066 Jacqueline Harary Peter E. Kazanoff, Esq.

144. 17-3066 Robert Blum Edward M. Spiro, Esq.- Direct: 212-856-9600 Morvillo Abramowitz Grand Iason & Anello P.C. 565 5th Avenue New York, NY 10017

145. 17-3067 Falcon Private Bank Ltd., FKA AIG Privat Bank AG

Eric Xinis Fishman, Esq., Direct: 212-858-1745 Pillsbury Winthrop Shaw Pittman LLP 1540 Broadway New York, NY 10036

146. 17-3068 Bank Vontobel AG, FKA Bank J. Vontobel & Co. AG

Gregory F. Hauser, Esq., Direct: 212-509-4717 Wuersch & Gering LLP 21st Floor


Addendum A 18

100 Wall Street New York, NY 10005

147. 17-3068 Vontobel Asset Management Inc. Gregory F. Hauser, Esq.

148. 17-3069 BNP Paribas Arbitrage SNC Breon S. Peace, Esq., Cleary Gottlieb Steen & Hamilton LLP 1 Liberty Plaza New York, NY 10006 Ari D. MacKinnon, Esq., Cleary Gottlieb Steen & Hamilton LLP 1 Liberty Plaza New York, NY 10006 Thomas S. Kessler, Esq. Cleary Gottlieb Steen & Hamilton LLP 1 Liberty Plaza New York, NY 10006

149. 17-3070 SafeHand Investments Carl H. Loewenson, Jr., Esq., Direct: 212-468-8128 Morrison & Foerster LLP 250 West 55th Street New York, NY 10019 Gerardo Gomez Galvis, Esq., Direct: 212-336-4051 Morrison & Foerster LLP 250 West 55th Street New York, NY 10019

150. 17-3070 Strongback Holdings Corporation Carl H. Loewenson, Jr., Esq. Gerardo Gomez Galvis, Esq.

151. 17-3070 PF Trustees Limited, in its capacity as trustee of RD Trust

Carl H. Loewenson, Jr., Esq. Gerardo Gomez Galvis, Esq.

152. 17-3071 Meritz Fire & Marine Insurance Co. LTD.

Michael T. Driscoll, Esq., Direct: 212-653-8700 Sheppard, Mullin, Richter & Hampton LLP 30 Rockefeller Plaza New York, NY 10112 Seong Hwan Kim, Esq., Direct: 310-228-3700 Sheppard, Mullin, Richter & Hampton LLP 16th Floor 1901 Avenue of the Stars


Addendum A 19

Los Angeles, CA 90067

153. 17-3072 Bank Hapoalim B.M. Scott Balber, Esq., Direct: 917-542-7810 Herbert Smith Freehills New York, LLP 14th Floor 450 Lexington Avenue New York, NY 10017 Jonathan C. Cross, Esq., Direct: 917-542-7600 Herbert Smith Freehills New York, LLP 14th Floor 450 Lexington Avenue New York, NY 10017

154. 17-3072 Bank Hapoalim (Switzerland) Ltd. Scott Balber, Esq. Jonathan C. Cross, Esq.

155. 17-3073 UKFP (Asia) Nominees Limited Michael Evan Rayfield, Esq., Direct: 212-506-2560 Mayer Brown LLP 1221 Avenue of the Americas New York, NY 10020 Brian Trust, Esq., Direct: 212-506-2500 Mayer Brown LLP 1221 Avenue of the Americas New York, NY 10020

156. 17-3074 Multi-Strategy Fund Limited Robert Joel Lack, Direct: 212-833-1108 Friedman Kaplan Seiler & Adelman LLP 7 Times Square New York, NY 10036

157. 17-3074 CDP Capital Tactical Alternative Investments

Robert Joel Lack

158. 17-3075 ZCM Asset Holding Company (Bermuda) LLC

Jack G. Stern, Esq., Direct: 212-446-2340 Boies Schiller Flexner LLP 575 Lexington Avenue New York, NY 10022 Alan B. Vickery, Esq., Partner Direct: 212-446-2300 Boies Schiller Flexner LLP 7th Floor 575 Lexington Avenue


Addendum A 20

New York, NY 10022

159. 17-3076 Citibank (Switzerland) AG E. Pascale Bibi, Esq., Cleary Gottlieb Steen & Hamilton LLP 1 Liberty Plaza New York, NY 10006 Carmine D. Boccuzzi, Jr., Esq., Cleary Gottlieb Steen & Hamilton LLP 1 Liberty Plaza New York, NY 10006 Lauren M. Irwin, Esq. Cleary Gottlieb Steen & Hamilton LLP 1 Liberty Plaza New York, NY 10006

160. 17-3077 Federico M. Ceretti Anthony Antonelli, Esq., Direct: 212-318-6730 Paul Hastings LLP 200 Park Avenue New York, NY 10166 Jodi Aileen Kleinick, Esq., Direct: 212-318-6751 Paul Hastings LLP 200 Park Avenue New York, NY 10166 Barry Gordon Sher, Esq. Direct: 212-318-6085 Paul Hastings LLP 200 Park Avenue New York, NY 10166

161. 17-3077 Carlo Grosso Anthony Antonelli, Esq. Jodi Aileen Kleinick, Esq. Barry Gordon Sher, Esq.

162. 17-3077 FIM Advisers LLP Anthony Antonelli, Esq. Jodi Aileen Kleinick, Esq. Barry Gordon Sher, Esq.

163. 17-3077 FIM Limited Anthony Antonelli, Esq. Jodi Aileen Kleinick, Esq.


Addendum A 21

Barry Gordon Sher, Esq.

164. 17-3077 Citi Hedge Fund Services Limited E. Pascale Bibi, Esq., Cleary Gottlieb Steen & Hamilton LLP 1 Liberty Plaza New York, NY 10006 Carmine D. Boccuzzi, Jr., Esq., Cleary Gottlieb Steen & Hamilton LLP 1 Liberty Plaza New York, NY 10006 Lauren M. Irwin, Esq. Cleary Gottlieb Steen & Hamilton LLP 1 Liberty Plaza New York, NY 10006

165. 17-3077 First Peninsula Trustees Limited, Individually and as Trustees of the Ashby Trust

Timothy P. Harkness, Esq., Direct: 212-277-4000 Freshfields Bruckhaus Deringer US LLP 31st Floor 601 Lexington Avenue New York, NY 10022

166. 17-3077 The Ashby Trust Timothy P. Harkness, Esq.

167. 17-3077 Ashby Investment Services Limited, Individually and as Trustees of The Ashby Trust

Timothy P. Harkness, Esq.

168. 17-3077 Alpine Trustees Limited, Individually and as Trustees of the El Prela Trust


169. 17-3077 Port of Hercules Trustees Limited, Individually and as Trustee of the El Prela Trust


170. 17-3077 El Prela Trust Timothy P. Harkness, Esq.

171. 17-3077 El Prela Group Holding Services Limited


172. 17-3077 Ashby Holding Services Limited Timothy P. Harkness, Esq.

173. 17-3077 El Prela Trading Investments Limited


174. 17-3077 HSBC Bank Bermuda Limited Thomas J. Moloney, Cleary Gottlieb Steen & Hamilton LLP 1 Liberty Plaza New York, NY 10006

175. 17-3077 Kingate Management Limited Peter R. Chaffetz, Esq. Direct: 212-257-6960 Chaffetz Lindsey LLP


Addendum A 22

33rd Floor 1700 Broadway New York, NY 10019 Erin Valentine, Esq., Direct: 212-257-6960 Chaffetz Lindsey LLP 33rd Floor 1700 Broadway New York, NY 10019

176. 17-3078 Banque SYZ SA Richard B. Levin, Esq., Jenner & Block LLP 919 3rd Avenue New York, NY 10022 Carl Nicholas Wedoff, Esq., Direct: 212-891-1653 Jenner & Block LLP 919 3rd Avenue New York, NY 10022

177. 17-3080 Credit Suisse AG William J. Sushon, Esq., O'Melveny & Myers LLP Times Square Tower 7 Times Square New York, NY 10036

178. 17-3080 Credit Suisse AG, Nassau Branch William J. Sushon, Esq.

179. 17-3080 Credit Suisse AG, Nassau Branch Wealth Management

William J. Sushon, Esq.

180. 17-3080 Credit Suisse AG, Nassau Branch LATAM Investment Banking


181. 17-3080 Credit Suisse Wealth Management Limited


182. 17-3080 Credit Suisse (Luxembourg) SA William J. Sushon, Esq.

183. 17-3080 Credit Suisse International Limited William J. Sushon, Esq.

184. 17-3080 Credit Suisse Nominees (Guernsey) Limited


185. 17-3080 Credit Suisse London Nominees Limited


186. 17-3080 Credit Suisse (UK) Limited William J. Sushon, Esq.

187. 17-3080 Credit Suisse Securities (USA) LLC


188. 17-3083 Standard Chartered Financial Services (Luxembourg) S.A., FKA American Express Financial

Diane Lee McGimsey, Esq., Direct: 310-712-6644 Sullivan & Cromwell LLP


Addendum A 23

Services (Luxembourg) S.A., FKA American Express Bank (Luxembourg) S.A., as represented by its Liquidator Hanspeter Kramer, Hanspeter Kramer, in his capacities as liquidator and representative of Standard Chartered Financial Services (Luxembourg) S.A

Suite 2100 1888 Century Park East Los Angeles, CA 90067 Sharon Nelles, Esq., Direct: 212-558-4976 Sullivan & Cromwell LLP 125 Broad Street New York, NY 10004

189. 17-3083 Standard Chartered Bank International (Americas) Limited, FKA American Express Bank International

Diane Lee McGimsey, Esq. Sharon Nelles, Esq.

190. 17-3083 Standard Chartered International (USA) Ltd., FKA American Express Bank, Ltd.

Diane Lee McGimsey, Esq. Sharon Nelles, Esq.

191. 17-3084 Fullerton Capital PTE Ltd. Daniel R. Bernstein, Esq., Direct: 212-836-7120 Arnold & Porter Kaye Scholer LLP 250 West 55th Street New York, NY 10019 Kent A. Yalowitz, Direct: 212-836-8344 Arnold & Porter Kaye Scholer LLP 250 West 55th Street New York, NY 10019

192. 17-3086 Banque Privee Espirito Santo S.A., FKA Compagnie Bancaire Espirito Santo S.A.

John F. Zulack, Esq., Allegaert Berger & Vogel LLP 111 Broadway, 20th Floor New York, New York 10006

193. 17-3087 Naidot & Co. Heather Kafele, Esq., Winston & Strawn LLP 1700 K Street, NW Washington, DC 20006 Keith Palfin, Esq., Winston & Strawn LLP 1700 K Street, NW Washington, DC 20006

194. 17-3088 BNP Paribas S.A. Breon S. Peace, Esq., Cleary Gottlieb Steen & Hamilton LLP 1 Liberty Plaza New York, NY 10006 Ari D. MacKinnon, Esq.,


Addendum A 24

Cleary Gottlieb Steen & Hamilton LLP 1 Liberty Plaza New York, NY 10006 Thomas S. Kessler, Esq. Cleary Gottlieb Steen & Hamilton LLP 1 Liberty Plaza New York, NY 10006

195. 17-3088 BNP Paribas (Suisse) SA, Individually and as Successor in Interest to United European Bank

Breon S. Peace, Esq., Ari D. MacKinnon, Esq., Thomas S. Kessler, Esq.

196. 17-3088 BNP Paribas Arbitrage SNC Breon S. Peace, Esq., Ari D. MacKinnon, Esq., Thomas S. Kessler, Esq.

197. 17-3088 BNP Paribas Bank & Trust Cayman Limited


198. 17-3088 BNP Paribas Securities Services - Succusale De Luxembourg


199. 17-3088 BNP Paribas Securities Services S.A.


200. 17-3088 BGL BNP Paribas Luxembourg S.A., as Successor in Interest to BNP Paribas Luxembourg S.A.


201. 17-3091 Credit Suisse AG, as successor in interest to Clariden Leu AG and Bank Leu AG

William J. Sushon, Esq., O'Melveny & Myers LLP Times Square Tower 7 Times Square New York, NY 10036


Addendum A 25

202. 17-3100 UBS Deutschland AG, as successor in interest to Dresdner Bank LateinAmerika AG

Gabriel Herrmann, Esq., Gibson, Dunn & Crutcher LLP 200 Park Avenue New York, NY 10166 Marshall R. King, Esq., Attorney Gibson, Dunn & Crutcher LLP 200 Park Avenue New York, NY 10166

203. 17-3100 LGT Bank (Switzerland) LTD., as successor in interest to Dresdner Bank (Schweiz) AG

Alexander B. Lees, Esq., Direct: 212-530-5000 Milbank, Tweed, Hadley & McCloy LLP 28 Liberty Street New York, NY 10005 Stacey J. Rappaport, Direct: 212-530-5347 Milbank, Tweed, Hadley & McCloy LLP 28 Liberty Street New York, NY 10005

204. 17-3101 Banca Carige S.P.A. David Mark, Attorney Direct: 212-506-1700 Kasowitz Benson Torres LLP 1633 Broadway New York, NY 10019

205. 17-3102 Somers Dublin Designated Activity Company

Thomas J. Moloney, Cleary Gottlieb Steen & Hamilton LLP 1 Liberty Plaza New York, NY 10006

206. 17-3102 Somers Nominees (Far East) Limited

Thomas J. Moloney

207. 17-3106 Lion Global Investors Limited Russell T. Gorkin, Esq., Proskauer Rose LLP 11 Times Square New York, NY 10036 Gregg M. Mashberg, Esq., Partner Proskauer Rose LLP 11 Times Square New York, NY 10036

208. 17-3109 Public Institution for Social Security

Nathan Haynes, Direct: 212-801-2137 Greenberg Traurig, LLP 200 Park Avenue Metlife Building


Addendum A 26

New York, NY 10166

209. 17-3112 Bordier & Cie John F. Zulack, Esq., Allegaert Berger & Vogel LLP 111 Broadway, 20th Floor New York, New York 10006

210. 17-3113 Barreneche, Inc. Peter E. Kazanoff, Esq., Direct: 212-455-3525 Simpson Thacher & Bartlett LLP 425 Lexington Avenue New York, NY 10017

211. 17-3113 Fairfield Greenwich Capital Partners


212. 17-3113 Fortuna Asset Management Inc. Peter E. Kazanoff, Esq.

213. 17-3113 Selecta Financial Corporation Inc. Peter E. Kazanoff, Esq.

214. 17-3113 Share Management LLC Peter E. Kazanoff, Esq.

215. 17-3113 Dove Hill Trust Peter E. Kazanoff, Esq.

216. 17-3115 EFG Bank S.A., FKA EFG Private Bank S.A.

Reid L. Ashinoff, Esq., Direct: 212-768-6730 Dentons US LLP 1221 Avenue of the Americas New York, NY 10020 Justin Nessim Kattan, Esq., Direct: 212-768-6923 Dentons US LLP 1221 Avenue of the Americas New York, NY 10020 Adam Lavine, Esq., Direct: 212-488-1200 Kobre & Kim LLP 6th Floor 800 3rd Avenue New York, NY 10022 David Farrington Yates, Esq., Direct: 212-488-1200 Kobre & Kim LLP 6th Floor 800 3rd Avenue New York, NY 10022


Addendum A 27

217. 17-3115 EFG BANK (MONACO) S.A.M., FKA EFG Eurofinancire dInvestissements S.A.M.

Reid L. Ashinoff, Esq. Justin Nessim Kattan, Esq. Adam Lavine, Esq. David Farrington Yates, Esq.

218. 17-3115 EFG BANK & TRUST (BAHAMAS) LIMITED, as successor-in-interest to Banco Atlantico (Bahamas) Bank & Trust Limited

Reid L. Ashinoff, Esq. Justin Nessim Kattan, Esq. Adam Lavine, Esq. David Farrington Yates, Esq.

219. 17-3117 ABN AMRO Retained Custodial Services (Ireland) Limited

Christopher R. Harris, Esq. Latham & Watkins LLP 885 3rd Avenue New York, NY 10022 Thomas Giblin, Esq., Direct: 212-906-1200 Latham & Watkins LLP 885 3rd Avenue New York, NY 10022

220. 17-3117 ABN AMRO Custodial Services (Ireland) Ltd., FKA Fortis Prime Fund Solutions Custodial Services (Ireland) Ltd.

Christopher R. Harris, Esq. Thomas Giblin, Esq.

221. 17-3122 Banco Bilbao Vizcaya Argentaria, S.A.

Heather Kafele, Esq., Winston & Strawn LLP 1700 K Street, NW Washington, DC 20006 Keith Palfin, Esq., Winston & Strawn LLP 1700 K Street, NW Washington, DC 20006

222. 17-3126 LGT Bank (Liechtenstein) Ltd. Alexander B. Lees, Esq., Direct: 212-530-5000 Milbank, Tweed, Hadley & McCloy LLP 28 Liberty Street New York, NY 10005 Stacey J. Rappaport, Direct: 212-530-5347 Milbank, Tweed, Hadley & McCloy LLP 28 Liberty Street


Addendum A 28

New York, NY 10005

223. 17-3129 Nomura International plc Brian H. Polovoy, Esq., Shearman & Sterling LLP 599 Lexington Avenue New York, NY 10022 Randall L. Martin, Esq., Shearman & Sterling LLP 599 Lexington Avenue New York, NY 10022

224. 17-3132 Lighthouse Investment Partners, LLC, DBA Lighthouse Partners, LLC

Eugene R. Licker, Direct: 646-346-8074 Ballard Spahr LLP 19th Floor 1675 Broadway New York, NY 10019-5820

225. 17-3132 Lighthouse Supercash Fund Limited

Eugene R. Licker

226. 17-3132 Lighthouse Diversified Fund Limited

Eugene R. Licker

227. 17-3134 Merrill Lynch International Pamela A. Miller, Esq., Direct: 212-326-2088 O'Melveny & Myers LLP Times Square Tower 7 Times Square New York, NY 10036

228. 17-3136 Inteligo Bank Ltd. Panama Branch, FKA Blubank Ltd Panama Branch

Heather Kafele, Esq. Winston & Strawn LLP 1700 K Street, NW Washington, DC 20006 Keith Palfin, Esq., Winston & Strawn LLP 1700 K Street, NW Washington, DC 20006

229. 17-3139 Citigroup Global Markets Limited E. Pascale Bibi, Esq., Cleary Gottlieb Steen & Hamilton LLP 1 Liberty Plaza New York, NY 10006 Carmine D. Boccuzzi, Jr., Esq., Cleary Gottlieb Steen & Hamilton LLP 1 Liberty Plaza New York, NY 10006


Addendum A 29

Lauren M. Irwin, Esq. Cleary Gottlieb Steen & Hamilton LLP 1 Liberty Plaza New York, NY 10006

230. 17-3140 KBC Investments Limited Andrew P. Propps, Esq., Direct: 212-839-5300 Sidley Austin LLP 787 7th Avenue New York, NY 10019 Alan M. Unger, Esq., Direct: 212-839-5300 Sidley Austin LLP 787 7th Avenue New York, NY 10019

231. 17-3141 UBS AG Gabriel Herrmann, Esq., Gibson, Dunn & Crutcher LLP 200 Park Avenue New York, NY 10166 Marshall R. King, Esq., Attorney Gibson, Dunn & Crutcher LLP 200 Park Avenue New York, NY 10166

232. 17-3141 UBS (Luxembourg) SA Gabriel Herrmann, Esq. Marshall R. King, Esq., Attorney

233. 17-3141 UBS Fund Services (Luxembourg) S.A.


234. 17-3141 UBS Third Party Management Company S.A.


235. 17-3141 M&B Capital Advisers Sociedad De Valores, S.A.

Richard B. Levin, Esq., Jenner & Block LLP 919 3rd Avenue New York, NY 10022 Carl Nicholas Wedoff, Esq., Direct: 212-891-1653 Jenner & Block LLP 919 3rd Avenue New York, NY 10022


Addendum A 30

236. 17-3143 Inter Investissements S.A., FKA Inter Conseil S.A.

Andrew Ehrlich, Direct: 212-373-3166 Paul, Weiss, Rifkind, Wharton & Garrison LLP 1285 Avenue of the Americas New York, NY 10019 Martin Flumenbaum, Direct: 212-373-3000 Paul, Weiss, Rifkind, Wharton & Garrison LLP 1285 Avenue of the Americas New York, NY 10019

237. 17-3144 Banco General, S.A. Joshua E. Abraham, Counsel BUTZEL LONG a professional corporation 477 Madison Avenue, Suite 1230 New York, NY 10022

238. 17-3144 BG Valores, S.A., FKA Wall Street Securities, S.A.

Joshua E. Abraham

239. 17-3862 ABN AMRO Bank N.V., presently known as The Royal Bank of Scotland, N.V.

Rachel Nechama Agress, Esq., Direct: 212-756-1122 Allen & Overy LLP 1221 Avenue of the Americas New York, NY 10020 Faraj Abdussalam Bader, Esq., Direct: 212-610-6300 Allen & Overy LLP 1221 Avenue of the Americas New York, NY 10020 Michael Feldberg, Esq., Direct: 212-610-6360 Allen & Overy LLP 1221 Avenue of the Americas New York, NY 10020 Derek Jackson, Esq., Direct: 212-610-6300 Allen & Overy LLP 1221 Avenue of the Americas New York, NY 10020


Addendum B

Opposing Party Opposing Attorneys

Irving H. Picard, Trustee for the Liquidation of Bernard L. Madoff Investment Securities LLC

David J. Sheehan Baker & Hostetler LLP 45 Rockefeller Plaza New York, New York 10111 (212) 589-4200 Seanna R. Brown Baker & Hostetler LLP 45 Rockefeller Plaza New York, New York 10111 (212) 589-4200 Torello H. Calvani Baker & Hostetler LLP 45 Rockefeller Plaza New York, New York 10111 (212) 589-4200 Catherine E. Woltering Baker & Hostetler LLP 45 Rockefeller Plaza New York, New York 10111 (212) 589-4200 Roy T. Englert, Jr. Robbins, Russell, Englert, Orseck, Untereiner & Sauber LLP 1801 K. Street, NW, Suite 411L Washington, DC 20006 (202) 775-4500 Howard L. Simon Windels Marx Lane & Mittendorf, LLP 156 West 56th Street New York, New York 10019 (212) 237-1000 Matthew B. Lunn Young Conaway Stargatt & Taylor, LLP Rockefeller Center 1270 Avenue of the Americas Suite 2210 New York, New York 10020 (212) 332-8840


Addendum B 2

Securities Investor Protection Corporation Kevin H. Bell Suite 1000 1667 K Street, NW Washington, DC 20006 (202) 371-8300 Nathanael S. Kelley Suite 1000 1667 K Street, NW Washington, DC 20006 (202) 371-8300 Josephine Wang Suite 1000 1667 K Street, NW Washington, DC 20006 (202) 371-8300


(Counsel continued on inside cover)

17-2992(L) 17-2995(CON), 17-2996(CON), 17-2999(CON), 17-3003(CON), 17-3004(CON), 17-3005(CON), 17-3006(CON), 17-3007(CON), 17-3008(CON), 17-3009(CON), 17-3010(CON), 17-3011(CON), 17-3012(CON), 17-3013(CON), 17-3014(CON), 17-3016(CON), 17-3018(CON), 17-3019(CON), 17-3020(CON), 17-3021(CON), 17-3023(CON), 17-3024(CON), 17-3025(CON), 17-3026(CON), 17-3029(CON), 17-3032(CON), 17-3033(CON), 17-3034(CON), 17-3035(CON), 17-3038(CON), 17-3039(CON), 17-3040(CON), 17-3041(CON), 17-3042(CON), 17-3043(CON), 17-3044(CON), 17-3047(CON), 17-3050(CON), 17-3054(CON), 17-3057(CON), 17-3058(CON), 17-3059(CON), 17-3060(CON), 17-3062(CON), 17-3064(CON), 17-3065(CON), 17-3066(CON), 17-3067(CON), 17-3068(CON), 17-3069(CON), 17-3070(CON), 17-3071(CON), 17-3072(CON), 17-3073(CON), 17-3074(CON), 17-3075(CON), 17-3076(CON), 17-3077(CON), 17-3078(CON), 17-3080(CON), 17-3083(CON), 17-3084(CON), 17-3086(CON), 17-3087(CON), 17-3088(CON), 17-3091(CON), 17-3100(CON), 17-3101(CON), 17-3102(CON), 17-3106(CON), 17-3109(CON), 17-3112(CON), 17-3113(CON), 17-3115(CON), 17-3117(CON), 17-3122(CON), 17-3126(CON), 17-3129(CON), 17-3132(CON), 17-3134(CON), 17-3136(CON), 17-3139(CON), 17-3140(CON), 17-3141(CON), 17-3143(CON), 17-3144(CON), 17-3862(CON)

United States Court of Appeals for the

Second Circuit

IN RE: IRVING H. PICARD, TRUSTEE FOR THE LIQUIDATION OF BERNARD L. MADOFF INVESTMENT SECURITIES LLC

ON APPEAL FROM THE UNITED STATES BANKRUPTCY COURT FOR THE SOUTHERN DISTRICT OF NEW YORK

MOTION TO STAY THE ISSUANCE OF THE MANDATE PENDING THE FILING OF A PETITION FOR A WRIT OF CERTIORARI

CLEARY GOTTLIEB STEEN & HAMILTON LLP Carmine D. Boccuzzi, Jr. E. Pascale Bibi Lauren M. Irwin One Liberty Plaza New York, New York 10006 212-225-2000

CLEARY GOTTLIEB STEEN & HAMILTON LLP Thomas J. Moloney Jessa DeGroote Joseph M. Kay David Z. Schwartz One Liberty Plaza New York, New York 10006 212-225-2000


Attorneys for Citibank (Switzerland) AG, Citi Hedge Fund Services Limited and Citigroup Global Markets Limited

Attorneys for HSВC Holdings plc, HSВC Bank plc, HSBC Securities Services (Luxembourg) S.A. (also sued as HSBC Fund Services (Luxembourg) S.A.), HSBC Securities Services (Ireland) Designated Activity Company (sued as HSBC Securities Services (Ireland) Limited), HSBC Securities Services (Bermuda) Limited, HSBC Institutional Trust Services (Ireland) Designated Activity Company (sued as HSBC Institutional Trust Services (Ireland) Limited), HSBC Institutional Trust Services (Bermuda) Limited, HSBC Bank U.S.A., N.A., HSBC Cayman Services Limited (sued as HSBC Bank (Cayman) Limited), HSВC Private Banking Holdings (Suisse) S.A., HSВC Private Bank (Suisse) S.A., HSBC Bank Bermuda Ltd., SICO Limited, Somers Dublin Designated Activity Company and Somers Nominees (Far East) Limited (collectively, the “HSBC Defendants”)

FRESHFIELDS BRUCKHAUS DERINGER US LLP Timothy P. Harkness David Y. Livshiz 601 Lexington Avenue, 31st Floor New York, NY 10022 212-277-4000 Attorneys for First Peninsula Trustees Limited, individually and as Trustee of The Ashby Trust, The Ashby Trust, Ashby Investment Services Limited,

PIERCE BAINBRIDGE BECK PRICE & HECHT LLP Jonathan G. Kortmansky Franklin B. Velie 277 Park Avenue, 45th Floor New York, New York 10172 212-484-9866 Attorneys for Appellee BA Worldwide Fund Management Limited


Alpine Trustees Limited, individually and as Trustee of El Prela Trust, Port of Hercules Trustees Limited, individually and as Trustee of El Prela Trust, El Prela Trust, El Prela Group Holding Services, Ashby Holding Services Limited, El Prela Trading Investments Limited and Tensyr Limited


TABLE OF CONTENTS

TABLE OF AUTHORITIES .................................................................................... ii

PRELIMINARY STATEMENT ............................................................................... 1

BACKGROUND ....................................................................................................... 4

ARGUMENT ............................................................................................................. 8

I. Defendants-Appellees’ Petition Will Raise Substantial Questions Warranting Supreme Court Review ................................................................ 8

A. The Petition Will Raise A Substantial Question Regarding The Scope Of The U.S. Bankruptcy Code ............................................ 9

B. The Petition Will Raise A Substantial Question Regarding A Circuit Split ......................................................................................... 13

II. Good Cause Exists For A Stay Of The Issuance Of The Mandate ............... 17

CONCLUSION ........................................................................................................20


ii

TABLE OF AUTHORITIES

Page(s)

Rules and Statutes

11 U.S.C. § 548 ............................................................................................... 11

11 U.S.C. § 550(a) .......................................................................................... passim

11 U.S.C. § 1501 ............................................................................................. 14

Fed. R. App. P. 41 ........................................................................................... 1, 8, 20

Sup. Ct. R. 10 .................................................................................................. 8-9, 13

Cases

Allstate Life Ins. Co. v. Linter Grp. Ltd., 994 F.2d 996 (2d Cir. 1993) ............................................................................ 14

Animal Sci. Prods., Inc. v. Hebei Welcome Pharm. Co., 138 S. Ct. 1865 (2018) .................................................................................... 3, 16

Banco Nacional de Cuba v. Sabbatino, 376 U.S. 398 (1964) ........................................................................................ 16

Banco Para El Comercio Exterior De Cuba v. First Nat’l City Bank, 744 F.2d 237 (2d Cir. 1984) ............................................................................ 18

Berg v. Gackenbach (In re Bolar Pharm. Co. Sec. Litig.), 966 F.2d 731 (2d Cir. 1992) ............................................................................ 15

Books v. City of Elkhart, 239 F.3d 826 (7th Cir. 2001) .......................................................................... 9, 17

Braxton v. United States, 500 U.S. 344 (1991) ........................................................................................ 13


iii

Page(s)

Chavez v. Carranza, 559 F.3d 486 (6th Cir. 2009) .......................................................................... 3, 14

GDG Acquisitions, LLC v. Gov’t of Belize, 749 F.3d 1024 (11th Cir. 2014) ...................................................................... 3, 14

Gucci Am., Inc. v. Weixing Li, 768 F.3d 122 (2d Cir. 2014) ............................................................................ 14

Jesner v. Arab Bank, PLC, 138 S. Ct. 1386 (2018) .................................................................................... 16

JP Morgan Chase Bank v. Altos Hornos de Mexico, S.A. de C.V., 412 F.3d 418 (2d Cir. 2005) ............................................................................ 13-14

Kiobel v. Royal Dutch Petroleum Co., 569 U.S. 108 (2013) ........................................................................................ 12, 16

Leopard Marine & Trading, Ltd. v. Easy St. Ltd., 896 F.3d 174 (2d Cir. 2018) ............................................................................ 13

Morrison v. Nat’l Australia Bank Ltd., 561 U.S. 247 (2010) ........................................................................................ 1, 5, 9

Mujica v. AirScan Inc., 771 F.3d 580 (9th Cir. 2014) .......................................................................... 3, 14

Perforaciones Exploración Y Producción v. Marítimas Mexicanas, S.A. de C.V., 356 F. App’x 675 (5th Cir. 2009) (per curiam) .............................................. 3, 14

Regan v. Wald, 468 U.S. 222 (1984) ........................................................................................ 16

Remington Rand Corp.-Del. v. Bus. Sys., Inc., 830 F.2d 1260 (3d Cir. 1987) .......................................................................... 3, 14


iv

Page(s)

RJR Nabisco, Inc. v. European Cmty., 136 S. Ct. 2090 (2016) .................................................................................... passim

U.S. Postal Serv. v. Nat’l Ass’n of Letter Carriers, AFL-CIO, 481 U.S. 1301 (1987) (Rehnquist, C.J., in chambers) .................................... 8, 16

Underwood v. Hillard (In re Rimsat, Ltd.), 98 F.3d 956 (7th Cir. 1996) ............................................................................ 3, 14

United States ex rel. Chandler v. Cook Cty., 282 F.3d 448 (7th Cir. 2002) .......................................................................... 17-18

United States v. Holland, 1 F.3d 454 (7th Cir. 1993) .............................................................................. 8

United States v. Microsoft Corp., 138 S. Ct. 1186 (2018) (per curiam) ............................................................... 12

WesternGeco LLC v. ION Geophysical Corp., 138 S. Ct. 2129 (2018) .................................................................................. 2, 10, 12

Other Authorities

Stephen M. Shapiro, et al., Supreme Court Practice (10th ed. 2013) .......... 9, 12


PRELIMINARY STATEMENT

Pursuant to Federal Rule of Appellate Procedure (“FRAP”) 41(d)(1),

Defendants-Appellees1 respectfully move this Court to stay the issuance of the

mandate in this appeal in light of this Court’s February 25, 2019 Certified Opinion

and Judgment (the “Decision”), pending Defendants-Appellees’ forthcoming

petition for a writ of certiorari (the “Petition”) in the Supreme Court of the United

States (the “Supreme Court”). Defendants-Appellees intend to file the Petition by

July 2, 2019 and, per FRAP 41(d)(2)(B), will duly notify the circuit clerk in

writing once they have filed the Petition so that a stay, if granted, may continue

until the Supreme Court’s final disposition of the Petition. A stay is warranted

because the Petition will present two substantial questions to the Supreme Court

and, in addition, there is good cause for a stay. See FRAP 41(d)(1).

First, the Petition will present a substantial question to the Supreme Court

regarding whether this Court incorrectly expanded the reach of U.S. Bankruptcy

Code Section 550(a) to allow a U.S. bankruptcy trustee to unwind wholly foreign

financial transactions remotely related to domestic transactions made by a U.S.

debtor. Defendants-Appellees respectfully submit that this Court misapplied

Morrison v. National Australia Bank Ltd., 561 U.S. 247 (2010), RJR Nabisco, Inc.

1 Defendants-Appellees are the Parties listed in Addendum A to the Joint Brief For Defendants-Appellees, Dkt. No. 935.


2

v. European Community, 136 S. Ct. 2090 (2016), and WesternGeco LLC v. ION

Geophysical Corp., 138 S. Ct. 2129 (2018), resulting in a decision that undermines

the presumption against extraterritoriality and is in conflict with relevant decisions

of the Supreme Court. In its Decision, this Court failed to apply the presumption

against extraterritoriality to 11 U.S.C. Section 550(a) (“Section 550(a)”), the

liability-creating provision of the U.S. Bankruptcy Code under which the Trustee’s

action is brought. Although the Decision purported to rely on the Supreme Court’s

“focus” test established in Morrison, as well as the Supreme Court’s recent

decision in WesternGeco, both of those decisions make clear that the focus test

requires the Court to apply the presumption against extraterritoriality to the

liability-creating provision of the relevant statute. Supreme Court review is

therefore necessary in light of the importance of the issue and the conflict with

Supreme Court precedent.

Second, the Petition will present a substantial question to the Supreme Court

regarding whether this Court incorrectly reviewed de novo the lower courts’

application of the doctrine of international comity to dismiss actions where the

transactions at issue were received from foreign investment funds that are subject

to their own foreign insolvency proceedings. In applying a de novo standard of

review to reverse the United States District Court for the Southern District of New

York’s (the “District Court”) and the United States Bankruptcy Court for the


3

Southern District of New York’s (the “Bankruptcy Court”) dismissal of claims on

international comity grounds, the Decision creates a conflict with the decisions of

all other United States courts of appeals to consider the issue, all of which instead

applied the correct abuse of discretion standard of review. See, e.g., Mujica v.

AirScan Inc., 771 F.3d 580, 589 (9th Cir. 2014); GDG Acquisitions, LLC v. Gov’t

of Belize, 749 F.3d 1024, 1030 (11th Cir. 2014); Chavez v. Carranza, 559 F.3d

486, 495 (6th Cir. 2009); Underwood v. Hillard (In re Rimsat, Ltd.), 98 F.3d 956,

963 (7th Cir. 1996); Remington Rand Corp.-Del. v. Bus. Sys., Inc., 830 F.2d 1260,

1266 (3d Cir. 1987); Perforaciones Exploración Y Producción v. Marítimas

Mexicanas, S.A. de C.V., 356 F. App’x 675, 680-81 (5th Cir. 2009) (per curiam).

Moreover, the Supreme Court has frequently granted certiorari to review and

resolve issues implicating foreign affairs, including considerations of international

comity. See, e.g., Animal Sci. Prods., Inc. v. Hebei Welcome Pharm. Co., 138 S.

Ct. 1865 (2018). Supreme Court review is necessary to resolve the circuit split

created by this Court’s Decision.

There is also good cause for a stay. The Decision requires these eighty-eight

consolidated actions to proceed in the Bankruptcy Court, despite a potentially

dispositive decision of the Supreme Court in the event that certiorari is granted and

the Decision is reversed. A stay would serve to maintain the current status quo in

this appeal and avoid requiring the 200-plus parties to expend potentially


4

unnecessary resources to reargue the motions to dismiss on other grounds before

the Bankruptcy Court and potentially engage in costly discovery much, if not all,

of which could be rendered moot if the Supreme Court grants certiorari and the

Decision is reversed. In addition, many of these defendants would once again be

subjected to potential double liability for the transfers at issue, a significant threat

that was appropriately alleviated by the Bankruptcy Court’s decision. SPA257-

263. Moreover, the Decision risks damaging the United States’ foreign

relationships, both from implementing the Decision’s newly-expanded reach of the

U.S. Bankruptcy Code as well as its failure to adhere to long-standing principles of

international comity. In light of this potentially irreparable harm, and because no

prejudice would result from a stay, Defendants-Appellees respectfully submit that

the balance of equities strongly favors a stay of the issuance of the mandate.

BACKGROUND

This action consolidates eighty-eight separate adversary proceedings brought

in the Bankruptcy Court by the Trustee for the Bernard L. Madoff Investment

Securities estate against hundreds of Defendants-Appellees, the vast majority of

which are foreign entities. SPA319-868. In these actions, the Trustee seeks,

pursuant to U.S. Bankruptcy Code Section 550(a), to recover from Defendants-

Appellees subsequent transfers that were transferred overseas from foreign

investment funds to Defendants-Appellees. SPA228. Attempts by the Trustee to


5

recover these transfers therefore implicate critical questions of federal law and

international relations. As a result, the District Court (Rakoff, J.) withdrew the

reference to the Bankruptcy Court to decide these questions. SPA6-7.

On July 7, 2014, the District Court issued its decision. SPA204-222. The

District Court applied the Supreme Court’s two-step focus test in Morrison to

reject the Trustee’s attempts to recover foreign transfers from Defendants-

Appellees. In applying step one of the test, the District Court found that nothing in

the text of Section 550(a) “suggests that Congress intended for this section to apply

to foreign transfers.” SPA213. In applying step two, the District Court found that

the focus of Congressional concern with respect to Section 550(a), i.e., the

“transactions that the statute seeks to ‘regulate,’” Morrison, 561 U.S. at 267

(citation omitted), is the foreign subsequent transfers and “not the relationship of

that property to a perhaps-distant debtor.” SPA210 (emphasis added).

As a result, the District Court held that “section 550(a) does not apply

extraterritorially to allow for the recovery of subsequent transfers received abroad

by a foreign transferee from a foreign transferor.” SPA221. In the alternative, the

District Court held that “the Trustee’s use of section 550(a) to reach these foreign

transfers would be precluded by concerns of international comity” where the

foreign investment funds were involved in liquidation proceedings in their home

countries which have their own rules concerning the disgorgement of transfers


6

received from a debtor. SPA219-220. The District Court remanded the adversary

proceedings to the Bankruptcy Court for further proceedings consistent with its

opinion. SPA222.

The Bankruptcy Court (Bernstein, J.), which has administered hundreds of

the Trustee’s Madoff-related actions for many years, applied the District Court’s

analysis to the actions consolidated in this appeal. On November 21, 2016, the

Bankruptcy Court dismissed certain claims against Defendants-Appellees on

extraterritoriality grounds. SPA226-318. The Bankruptcy Court also abstained

from deciding all of the claims against Defendants-Appellees in which the Trustee

sought to recover transfers made by foreign investment funds that are the subject of

foreign liquidation proceedings under foreign law based on principles of

international comity. SPA252-255; SPA260-263. The Bankruptcy Court balanced

the respective interests of the United States and the foreign nations whose law

applies to these foreign liquidation proceedings and held that the jurisdictions of

the foreign nations “have a greater interest in regulating the activity that gave rise

to the [duplicative] claims asserted by the Trustee and the [foreign] liquidators.”

SPA259. The Bankruptcy Court also considered the expectations of foreign

investors and the risks of double liability. SPA259 (“The Trustee’s subsequent

transfer claims . . . duplicate the actions brought by the respective liquidators . . .

against substantially the same defendants to recover substantially the same


7

transfers.”) (emphasis added). The Trustee appealed the District Court’s and

Bankruptcy Court’s dismissals of the actions on extraterritoriality and international

comity grounds in September 2017. Docketing Notices, Dkt. Nos. 1, 3.

On February 25, 2019, the panel of the Second Circuit (the “Panel”) issued

the Decision, vacating and remanding to the Bankruptcy Court for further

proceedings consistent with the Decision. Decision 40. The Panel explicitly

declined to apply step one of the two-step focus test outlined in Morrison and

ultimately concluded that Section 550(a) applies domestically where, as here, the

initial fraudulent transfers from the debtor were made in the United States. Id. 15,

39. In concluding that Section 550(a) applies domestically, the Panel found that

the “relevant transfer is the debtor’s initial transfer” and the lower courts

“erroneously focus[ed] on the subsequent transfer[s].” Id. 39, 38. The Panel also

applied a de novo standard of review to the lower courts’ dismissals grounded in

principles of international comity and concluded that, in these circumstances,

“prescriptive comity considerations do not limit the reach of the Bankruptcy Code

provisions.” Id. 40.

On March 11, 2019, Defendants-Appellees filed a timely petition for

rehearing and rehearing en banc, Rehearing Petition, Dkt. No. 1320 (the

“Rehearing Petition”), which the Court denied on April 3, 2019. Order, Dkt. No.

1408. The issuance of the mandate was automatically stayed during the pendency


8

of the Rehearing Petition and remains stayed by the filing of the instant motion,

absent further order of the Court. See FRAP 41(b).

ARGUMENT

Under FRAP 41(d)(1), “[a] party may move to stay the mandate pending the

filing of a petition for a writ of certiorari in the Supreme Court.” FRAP 41(d)(1).

The motion “must show that the petition would present a substantial question and

that there is good cause for a stay.” Id. These factors are fully satisfied here.

I. Defendants-Appellees’ Petition Will Raise Substantial Questions Warranting Supreme Court Review

The standard governing whether a stay should be granted pending the filing

of a petition for certiorari requires considering “whether four Justices would vote

to grant certiorari” as well as giving “some consideration as to predicting the final

outcome of the case in [the Supreme Court].” U.S. Postal Serv. v. Nat’l Ass’n of

Letter Carriers, AFL-CIO, 481 U.S. 1301, 1302 (1987) (Rehnquist, C.J., in

chambers); see also United States v. Holland, 1 F.3d 454, 456 (7th Cir. 1993)

(noting that judges of the lower courts are to apply the same criteria articulated by

the Supreme Court in considering whether to grant a stay). The Petition will

present two substantial questions for Supreme Court review.

The Supreme Court Rules indicate that a grant of certiorari may be

warranted where, as here, a “court of appeals has decided an important question of

federal law that has not been, but should be, settled by [the Supreme Court], or has


9

decided an important federal question in a way that conflicts with relevant

decisions of [the Supreme Court].” Sup. Ct. R. 10(c). In addition, Supreme Court

review is appropriate where “a United States court of appeals has entered a

decision in conflict with the decision of another United States court of appeals on

the same important matter.” Sup. Ct. R. 10(a). This Court must also consider the

likelihood that the Supreme Court may grant certiorari “in the context of the case

history [and] the Supreme Court’s treatment of other cases presenting similar

issues.” Books v. City of Elkhart, 239 F.3d 826, 828 (7th Cir. 2001). Defendants-

Appellees submit that these considerations weigh in favor of granting a stay in this

case with respect to both of the substantial questions discussed below.

A. The Petition Will Raise A Substantial Question Regarding The Scope Of The U.S. Bankruptcy Code

Defendants-Appellees’ Petition will raise a substantial question of federal

law regarding the scope of the U.S. Bankruptcy Code. The Decision also raises a

“[s]ignificant federal statutory question[] implicating foreign affairs,” weighing in

favor of the Supreme Court’s grant of certiorari. Stephen M. Shapiro, et al.,

Supreme Court Practice 270 (10th ed. 2013).

Defendants-Appellees also respectfully submit that this Court’s holding

misapplied the Supreme Court’s focus test articulated in Morrison in a way that

conflicts with relevant decisions of the Supreme Court and undermines the

presumption against extraterritoriality. See Morrison, 561 U.S. at 255. Step one of


10

the focus test first articulated in Morrison, and explained further in RJR and

WesternGeco, requires that courts assessing the extraterritorial reach, if any, of a

U.S. statute determine “whether the statute gives a clear, affirmative indication that

it applies extraterritorially.” RJR, 136 S. Ct. at 2101. The second step of the test

requires courts to consider “whether the case involves a domestic application of the

statute.” Id. at 2101. The Supreme Court has further explained that the “whole

point of the focus test” is “determining how the statute has actually been applied.”

WesternGeco, 138 S. Ct. at 2137.

WesternGeco made clear that determining how a statute has been applied

requires a court to first identify the provision of the statute that creates liability

and, second, to identify “the conduct relevant to the statutory focus” of that

provision. Id. Applying this framework, the Supreme Court in WesternGeco

identified the relevant liability-creating provision of the U.S. Patent Act, 35 U.S.C.

Sections 1 et seq. (the “Patent Act”), (i.e., Section 271(f)(2)) and then determined

the conduct that provision sought to regulate (i.e., the domestic act of

infringement). This same framework was applied two years earlier in RJR, where

the Supreme Court separately analyzed the extraterritorial application of two

provisions of the federal Racketeer Influenced and Corrupt Organizations statute

(“RICO”), 18 U.S.C. Sections 1961-68, because those provisions implicated

separate liability-creating provisions. RJR, 136 S. Ct. at 2106. Notably, the


11

Supreme Court in RJR rejected the argument, adopted by this Court in its

underlying decision in that action, that the two relevant RICO provisions should be

considered together because the application of one provision turned on the

application of the other (i.e., the statute’s private cause of action provision turned

on the provision that identified the prohibited conduct). Id. Instead, the Supreme

Court reiterated its conclusion that it must “separately apply the presumption

against extraterritoriality” to each liability-creating provision, even where “the

presumption has been overcome with respect to” portions of the statute on which a

liability-creating provision turns. Id.

Defendants-Appellees respectfully submit that the Panel’s Decision adopts

reasoning similar to the argument rejected by the Supreme Court in RJR and does

not adhere to the framework set out in the Supreme Court’s decisions in Morrison,

RJR, and WesternGeco. The Panel failed to identify the focus of the relevant

statutory provision—Section 550(a)—which is a liability-creating provision

requiring an independent application of the presumption against extraterritoriality.

The Decision relies heavily on the fact that Section 550(a) requires as its

prerequisite the avoidance of initial transfers under a separate statutory provision

of the U.S. Bankruptcy Code, 11 U.S.C. Section 548. Decision 24. However, this

reliance is misplaced because the Trustee’s cause of action asserted against the

Defendants-Appellees is based upon Section 550(a). As the District Court


12

correctly found in applying the presumption against extraterritoriality to the correct

provision, Section 550(a), the regulatory focus of that provision is “the transfer of

property to a subsequent transferee, not the relationship of that property to a

perhaps-distant debtor.” SPA210.

Defendants-Appellees submit that the Decision impermissibly expands the

reach of the U.S. Bankruptcy Code with far-reaching consequences and is therefore

especially appropriate for Supreme Court review. See Supreme Court Practice 252

(“Certiorari is often granted . . . where the court of appeals has allegedly

misconstrued, misapplied, or misconceived an applicable Supreme Court

opinion.”). Moreover, the Supreme Court has repeatedly demonstrated an interest

in recent years in reviewing decisions implicating the extraterritorial scope of U.S.

laws. See, e.g., WesternGeco, 138 S. Ct. 2129 (addressing extraterritoriality in the

context of the Patent Act); United States v. Microsoft Corp., 138 S. Ct. 1186

(2018) (per curiam) (certiorari granted to address extraterritoriality in the context

of 18 U.S.C. § 2703); RJR, 136 S. Ct. 2090 (addressing the extraterritorial scope of

the RICO Act); Kiobel v. Royal Dutch Petroleum Co., 569 U.S. 108 (2013)

(addressing the extraterritorial scope of the Alien Tort Statute). This trend

underscores the likelihood that the Supreme Court will grant certiorari to decide

the important question of the extraterritorial scope of the U.S. Bankruptcy Code.

Because the Decision conflicts with Supreme Court precedent, Defendants-


13

Appellees further submit that the Supreme Court is reasonably likely to reverse this

Court’s holding.

B. The Petition Will Raise A Substantial Question Regarding A Circuit Split

Defendants-Appellees’ Petition will also raise the substantial question of

whether this Court incorrectly applied a de novo standard of review to the

Bankruptcy Court’s application of the doctrine of international comity to dismiss

actions where the transactions at issue are also subject to avoidance in foreign

insolvency proceedings and face the very real risk of double liability. The

Decision is a departure from prior Second Circuit decisions and creates a circuit

split with six other United States courts of appeals, which instead uniformly review

such determinations for abuse of discretion. Circuit splits are a principal factor for

the Supreme Court in considering whether to grant certiorari petitions. Sup. Ct.

R. 10(a); see also Braxton v. United States, 500 U.S. 344, 347 (1991) (“A principal

purpose for which we use our certiorari jurisdiction . . . is to resolve conflicts

among the United States courts of appeals . . . .”).

Prior to the Decision, this Court was aligned with all other circuits in

applying a deferential abuse of discretion standard of review to lower courts’

decisions grounded in principles of international comity. See, e.g., Leopard

Marine & Trading, Ltd. v. Easy St. Ltd., 896 F.3d 174, 189 (2d Cir. 2018)

(reviewing for abuse of discretion); JP Morgan Chase Bank v. Altos Hornos de


14

Mex., S.A. de C.V., 412 F.3d 418, 422 (2d Cir. 2005) (same); Allstate Life Ins. Co.

v. Linter Grp. Ltd., 994 F.2d 996, 999 (2d Cir. 1993) (same); Mujica v. AirScan

Inc., 771 F.3d 580, 589 (9th Cir. 2014) (same); GDG Acquisitions, LLC v. Gov’t of

Belize, 749 F.3d 1024, 1030 (11th Cir. 2014) (same); Chavez v. Carranza, 559

F.3d 486, 495 (6th Cir. 2009) (same); Underwood v. Hillard (In re Rimsat, Ltd.),

98 F.3d 956, 963 (7th Cir. 1996) (same); Remington Rand Corp.-Del. v. Bus. Sys.,

Inc., 830 F.2d 1260, 1266 (3d Cir. 1987) (same); Perforaciones Exploración Y

Producción v. Marítimas Mexicanas, S.A. de C.V., 356 F. App’x 675, 680-81 (5th

Cir. 2009) (per curiam) (same). The application of an abuse of discretion standard

of review is unsurprising, as both practical and policy considerations favor such

deference.

Where, as here, principles of international comity are implicated by multiple

related international bankruptcy proceedings, the court is required to “give due

regard to the various interests at stake.” Gucci Am., Inc. v. Weixing Li, 768 F.3d

122, 140 (2d Cir. 2014). Considering these interests in cross-border insolvencies

involves a fact-intensive analysis balancing the interests of the United States, the

interests of foreign states, and any potential conflict between the laws of these

nations, as well as “the interests of all creditors, and other interested entities,

including the debtor.” 11 U.S.C. § 1501(a)(3). This complex analysis and

balancing of United States’ and foreign interests is best suited to the lower court,


15

regardless of whether the comity analysis turns on whether there are duplicative

actions in foreign courts or on the interpretation of a U.S. statute that unreasonably

conflicts with foreign law and foreign governmental interests, including by

establishing rules for property rights resulting from foreign transfers between

foreign parties. The Bankruptcy Court, which has for many years administered the

Trustee’s actions, as well as hundreds of related actions brought by the liquidators

of the largest foreign investment fund, “is intimately familiar with the nuances of

the case” and “is in a far better position to [conduct this analysis] than is an

appellate court, which must work from a cold record.” Berg v. Gackenbach (In re

Bolar Pharm. Co. Sec. Litig.), 966 F.2d 731, 732 (2d Cir. 1992). It is therefore

unsurprising that, prior to the Decision, every United States court of appeals,

including this Court, exercised deference in reviewing lower courts’ factual

determinations resolving considerations of international comity.

Defendants-Appellees submit that in the event that the Supreme Court grants

certiorari, it is reasonably likely that the Supreme Court will reverse the Decision’s

international comity holding in order to restore uniformity among the United States

courts of appeals in the application of a deferential standard of review to lower

courts’ fact-based findings grounded in principles of international comity. The

importance of this question and the likelihood of Supreme Court review is further

supported by the fact that the Decision’s international comity holding implicates


16

issues of foreign affairs, which the Supreme Court has expressed a particular

interest in reviewing and resolving both historically and in recent years. See, e.g.,

Animal Sci. Prods., Inc. v. Hebei Welcome Pharm. Co., 138 S. Ct. 1865 (2018)

(considering international comity in addressing the weight a federal court should

give to the views of a foreign government when making determinations of foreign

law); Jesner v. Arab Bank, PLC, 138 S. Ct. 1386, 1407 (2018) (addressing issue

implicating “foreign-relations tensions” and international “policy judgments”);

RJR, 136 S. Ct. at 2106 (considering the “potential for international friction” in

“applying U.S. substantive law” to foreign conduct); Kiobel, 569 U.S. at 117

(addressing “significant foreign policy implications” in applying U.S. law to

foreign conduct); Regan v. Wald, 468 U.S. 222, 242 (1984) (addressing issues

implicating “weighty concerns of foreign policy”); Banco Nacional de Cuba v.

Sabbatino, 376 U.S. 398, 407 (1964) (“We granted certiorari because the issues

involved bear importantly on the conduct of the country’s foreign relations . . . .”).

In light of the foregoing, Defendants-Appellees respectfully submit that it is

reasonably likely that the Supreme Court will grant certiorari to review both of the

substantial questions discussed supra and that there is a reasonable prospect that

the final outcome of these questions may reverse the Decision. See USPS, 481

U.S. at 1302; RJR, 136 S. Ct. at 2099, 2111 (granting certiorari “[b]ecause of th[e]

conflict [among circuit courts] and the importance of the issue”).


17

II. Good Cause Exists For A Stay Of The Issuance Of The Mandate

In determining whether there is good cause for a stay, courts “balance the

equities of granting a stay by assessing the harm to each party if a stay is granted.”

Books, 239 F.3d at 828. Here, the balance of hardships favors a stay, as no

prejudice would result from a stay and irreparable harm is likely to result if the

mandate issues.

First, once the mandate issues, the parties will be required to reargue the

motions to dismiss on other grounds before the Bankruptcy Court and potentially

engage in costly discovery. These proceedings would likely no longer continue on

a consolidated basis, but would instead immediately flood the Bankruptcy Court

with litigation in eighty-eight separate adversary proceedings involving hundreds

of defendants. The parties would be required to litigate numerous fact-intensive

and complex inquiries, including arguments based on personal jurisdiction, service

of process, and good faith, among others. The potentially unnecessary expenditure

of resources by the courts and the parties to resolve these issues could be rendered

moot if the Supreme Court grants certiorari and the Decision is reversed. Cf.

United States ex rel. Chandler v. Cook Cty., 282 F.3d 448, 451 (7th Cir. 2002)


18

(finding the “expense of preparing for trial” during the pendency of a petition for

certiorari to be an “important” harm sufficient to warrant a stay of the mandate).

Second, allowing the actions to proceed before the Bankruptcy Court would

subject many defendants to potential double liability for the transfers at issue, as

many of these same transfers are being sought by foreign liquidators in their own

insolvency proceedings. Indeed, some Defendants-Appellees have already settled

the claims brought by the liquidators based on the very same transfers the Trustee

pursues here, and have made payments required by those settlements. The lower

courts found, and the Trustee does not dispute, that the Trustee has brought actions

to recover transfers from Defendants-Appellees who are separately being sued by

foreign investment funds seeking to recover the very same transfers, and even

some who have already settled such suits. See Decision 8; Decl. of Paul Pretlove,

Dkt. 923-2; Arg. Tr. 65:1-3. Although the Bankruptcy Court’s decision eliminated

this highly inequitable result, the Decision again subjects Defendants-Appellees to

“the odious possibility of . . . double liability” in the United States and abroad.

Banco Para el Comercio Exterior de Cuba v. First Nat’l City Bank, 744 F.2d 237,

241-42 (2d Cir. 1984) (citation omitted).

Third, as discussed supra Section I, the Decision implicates issues of foreign

affairs, both in the implementation of the Decision’s substantially-expanded reach

of the U.S. Bankruptcy Code, as well as the Decision’s failure to adhere to long-


19

standing principles of international comity. The Decision requires more than a

hundred foreign defendants to immediately begin expending resources to defend

against the Trustee’s claims. Because the Decision condones the application of

U.S. law to wholly foreign conduct that is otherwise regulated by foreign states,

Defendants-Appellees respectfully submit that maintenance of these actions

“creates a danger of international friction.” RJR, 136 S. Ct. at 2095. A stay of the

mandate would avoid “the international discord that can result when U.S. law is

applied to conduct in foreign countries,” especially where Defendants-Appellees

had every reason to believe their foreign conduct would be governed by foreign

law. RJR, 136 S. Ct. at 2100 (“It is a basic premise of our legal system that, in

general, United States law governs domestically but does not rule the world.”)

(internal quotation marks and citation omitted); SPA220-222.

Finally, no party will be prejudiced by a stay. The parties have previously

acknowledged the benefit of staying the proceedings in the underlying actions to

this consolidated proceeding until final determination on the issues of

extraterritoriality and international comity are reached by entering into a jointly-

negotiated case management order implementing such a stay. A4341-4342. This

order contemplated the potentially dispositive nature of the decisions related to

extraterritoriality and international comity, which could, of course, moot any

additional briefing, argument, or discovery related to the remaining issues in each


20

of these actions. As a result, litigation on the remaining issues in these actions has

been stayed for years pending adjudication of the extraterritoriality and

international comity issues. A stay of the issuance of the mandate would merely

continue the status quo and respect the understanding Defendants-Appellees and

the Trustee previously reached. No party would be prejudiced by a relatively brief

continuance of the stay to permit the Supreme Court to decide Defendants-

Appellees’ Petition.

CONCLUSION

For the foregoing reasons, the Court should stay the issuance of the mandate

in this appeal pursuant to FRAP 41(d)(1) pending the ultimate disposition of

Defendants-Appellees’ impending petition for a writ of certiorari in the Supreme

Court.


21

Dated: April 8, 2019 New York, New York

CLEARY GOTTLIEB STEEN & HAMILTON LLP

/s/ Carmine D. Boccuzzi, Jr. Carmine D. Boccuzzi, Jr. E. Pascale Bibi Lauren M. Irwin One Liberty Plaza New York, New York 10006 T: 212-225-2000 F: 212-225-3999 Attorneys for Citibank (Switzerland) AG, Citi Hedge Fund Services Limited and Citigroup Global Markets Limited

Respectfully submitted,

CLEARY GOTTLIEB STEEN & HAMILTON LLP

/s/ Thomas J. Moloney Thomas J. Moloney Jessa DeGroote Joseph M. Kay David Z. Schwartz One Liberty Plaza New York, New York 10006 T: 212-225-2000 F: 212-225-3999 Attorneys for HSВC Holdings plc, HSВC Bank plc, HSBC Securities Services (Luxembourg) S.A. (also sued as HSBC Fund Services (Luxembourg) S.A.), HSBC Securities Services (Ireland) Designated Activity Company (sued as HSBC Securities Services (Ireland) Limited), HSBC Securities Services (Bermuda) Limited, HSBC Institutional Trust Services (Ireland) Designated Activity Company (sued as HSBC Institutional Trust Services (Ireland) Limited), HSBC Institutional Trust Services (Bermuda) Limited, HSBC Bank U.S.A., N.A., HSBC Cayman Services Limited (sued as HSBC Bank (Cayman) Limited), HSВC Private Banking Holdings (Suisse) S.A., HSВC Private Bank (Suisse) S.A., HSBC Bank Bermuda Ltd., SICO Limited, Somers Dublin Designated Activity Company and Somers Nominees (Far East) Limited


22

FRESHFIELDS BRUCKHAUS DERINGER US LLP /s/ Timothy P. Harkness Timothy P. Harkness David Y. Livshiz 601 Lexington Avenue, 31st Floor New York, NY 10022 T: 212-277-4000 F: 212-277-4001 Attorneys for First Peninsula Trustees Limited, individually and as Trustee of The Ashby Trust, The Ashby Trust, Ashby Investment Services Limited, Alpine Trustees Limited, individually and as Trustee of El Prela Trust, Port of Hercules Trustees Limited, individually and as Trustee of El Prela Trust, El Prela Trust, El Prela Group Holding Services, Ashby Holdings Services Limited, El Prela Trading Investments Limited and Tensyr Limited

PIERCE BAINBRIDGE BECK PRICE & HECHT LLP

/s/ Jonathan G. Kortmansky

Jonathan G. Kortmansky Franklin B. Velie 277 Park Ave, 45th Floor New York, New York 10172 212-484-9866 Attorneys for Appellee BA Worldwide Fund Management Limited


CERTIFICATE OF COMPLIANCE

I hereby certify that:

1. This brief complies with Fed. R. App. P. 27(d)(2)(A), because it

contains 4,536 words, excluding the parts of the brief exempted by Fed. R. App. P.

32(f).

2. This brief complies with the typeface requirements of Fed. R. App. P.

32(a)(5) and the type style requirements of Fed. R. App. P. 32(a)(6) because this

brief has been prepared in a proportionally spaced typeface using Microsoft Word

in 14-point Times New Roman font.

/s/ Carmine D. Boccuzzi, Jr. Carmine D. Boccuzzi, Jr.


Documents

Case 17-2992, Document 1413, 04/08/2019, …...Case 17-2992, Document 1413, 04/08/2019, 2534828, Page1 of 63 Addendum A Number Case Number Moving Parties Moving Attorneys 1. 17-2992